RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M•••••• D•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 16, 2023 · Newport Beach, Ca
- O••••••••• • C•• I••• BD affiliatedSep 3, 2019 to Aug 18, 2023 · Newport Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 11, 2019 · Fountain Valley, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 23, 2009 to Oct 1, 2012 · Huntington Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 28, 2006 to Sep 8, 2009 · Pasadena, Ca
- C••••••••• F•••••••• N•••••• national BDDec 15, 2004 to May 1, 2006 · Huntington Beach, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 22, 2000 to Aug 30, 2004 · Whittier, Ca
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Aug 18, 2023, registered Aug 16, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••left Sep 11, 2019, registered Sep 3, 2019 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 8, 2009, registered Sep 23, 2009 (15 days) · Other
- C••••••••• F•••••••• N•••••• to W•••• F•••• I••••••••• L••left May 1, 2006, registered Apr 28, 2006 (-3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Aug 30, 2004, registered Dec 15, 2004 (107 days) · Other
- M•••••• D••••••• left O••••••••• • C•• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-08-16)Aug 18, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address